HomeMy Public PortalAboutR3276RESOLUTION NO. 3276
WHEREAS, the adoption of Resolution No. 3276 will modify the list of
Approved Securities Dealers attached hereto as Exhibit D by adding Loop Capital as an
Approved Securities Dealer of the District and move Wells Fargo Securities, LLC. to a Primary
Government Securities Dealer from a District Approved Securities Dealer, and
WHEREAS, under provisions of Ordinance No. 14294, Section Three, adopted on
December 10, 2015, the list of Approved Securities Dealers may be modified from time to time
by resolution of the Board of Trustees of the District, and
WHEREAS, Section 3 of Ordinance No. 14294, adopted on December 10, 2015,
has been modified to include Loop Capital as an approved Securities Dealer of the District and
move Wells Fargo Securities, LLC. to a Primary Government Securities Dealer from a District
Approved Securities Dealer , and
NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF TRUSTEES OF
THE METROPOLITAN ST. LOUIS SEWER DISTRICT THAT, the list of Approved Securities
Dealers, attached hereto as Exhibit D, is hereby approved; provided that such list may be
modified from time to time by resolution of the Board of Trustees of the District.
The foregoing Resolution was adopted on May 12, 2016.
EXHIBIT D
LIST OF APPROVED SECURITIES DEALERS
Primary Government Securities Dealers*
Bank of Nova Scotia, New York Agency
BMO Capital Markets Corp.
BNP Paribas Securities Corp.
Barclays Capital Inc.
Cantor Fitzgerald & Co.
Citigroup Global Markets Inc.
Credit Suisse Securities (USA) LLC
Daiwa Capital Markets America Inc.
Deutsche Bank Securities Inc.
Goldman, Sachs & Co.
HSBC Securities (USA) Inc.
Jefferies LLC
J.P. Morgan Securities LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mizuho Securities USA Inc.
Morgan Stanley & Co. LLC
Nomura Securities International, Inc.
RBC Capital Markets, LLC
RBS Securities Inc.
SG Americas Securities, LLC
TD Securities (USA) LLC
UBS Securities LLC.
Wells Fargo Securities LLC.
* Such Primary Government Securities Dealers shall be those certified as such, from time
to time, by the New York Federal Reserve Bank. Current list dated April 18, 2016
District Approved Securities Dealers
Blaylock Robert Van, LLC
Comerica Securities, Inc.
Edward D. Jones
First Bankers
FTN Financial Capital Markets
Great Pacific Securities
Loop Capital
Piper Jaffray & Co
Raymond James/Morgan Keegan
Siebert Branford Shanks & Co., LLC
Stifel Nicolaus & Co., Inc.
Sterling Investments
Stem Brothers & Co.
Multi-Bank Securities, Inc.
District Authorized Depositary Banks